Paul A. Stock
Professional summary
Paul Allan Stock, who also goes by Paul Stock, is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Jericho, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1987. Paul has worked at 13 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Allan Stock's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 25, 2025 - Present
VANDERBILT SECURITIES, LLC
Office #1: 500 N. Broadway, Suite 219, Jericho, NY 11753October 11, 2024 - February 27, 2025
OSAIC WEALTH, INC.
November 9, 2020 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 2, 2010 - November 10, 2020
LINCOLN INVESTMENT
May 5, 2009 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 2, 2007 - April 15, 2009
NEW ENGLAND SECURITIES
December 20, 2005 - February 8, 2007
EQUITY SERVICES, INC.
May 3, 1999 - June 16, 2005
PARK AVENUE SECURITIES LLC
November 10, 1998 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
May 5, 1997 - October 5, 1998
MONY SECURITIES CORPORATION
October 4, 1993 - October 18, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 4, 1993 - October 18, 1994
SIGNATOR INVESTORS, INC.
December 8, 1987 - June 6, 1990
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/25/2025)
(2/25/2025)
(2/25/2025)
Exams
FINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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